chapter 13. promotion - pa. code · chapter 13. promotion subchap. sec. a. advertising ..... 13.1...

CHAPTER 13. PROMOTION

Subchap. Sec.A. ADVERTISING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.1B. MARKETING BY VENDORS AND AGENTS; SPECIAL

ORDERS; LUXURY ITEM ORDERS; SAMPLES ANDUNLAWFUL ACTS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.71

C. SOLICITATION FOR THE PURCHASE OF ALCOHOLICBEVERAGES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.101

D. TASTING EVENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.201E. SAMPLES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.231

Authority

The provisions of this Chapter 13 issued under section 207(i) of the Liquor Code (47 P. S.§ 2-207(i)), unless otherwise noted.

Cross References

This chapter cited in 40 Pa. Code § 5.32 (relating to restrictions/exceptions).

Subchapter A. ADVERTISING

GENERAL PROVISIONS

Sec.13.1. Definitions.13.2. Applicability.

DISTILLED SPIRITS

13.11. Mandatory statements.13.12. Lettering.13.13. Prohibited statements.13.14. [Reserved].13.15. General prohibition and enforcement.13.16. Further prohibitions.

WINE

13.21. Mandatory statements.13.22. Lettering.13.23. Prohibited statements.13.24. [Reserved].13.25. General prohibition and enforcement.13.26. Further prohibitions.13.27. Board participation in wine events.

Ch. 13 PROMOTION 40

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ADVERTISING OF BRAND NAMES

13.41. Malt or brewed beverages.13.42. Window and doorway display.13.43. Interior display.

GIVING AND ACCEPTING THINGS OF VALUE

13.51. General prohibition.13.52. Advertising novelties.13.53. Bar spending/free drinks.13.54. Point of sale (POS) incentive programs—defined.13.56. Permissable point of sale (POS) incentive programs.

MISCELLANEOUS PROVISIONS

13.61. Labeling and advertising of wine and distilled spirits.13.62. Distribution of price lists, circulars or handbills.

Source

The provisions of this Subchapter A adopted April 24, 1970, unless otherwise noted.

GENERAL PROVISIONS

§ 13.1. Definitions.The following words and terms, when used in this subchapter, have the follow-

ing meanings, unless the context clearly indicates otherwise:Advertisement—Any promotion through the medium of newspapers, maga-

zines or similar publications, except that the term does not include the follow-ing:

(i) Any label affixed to a container of distilled spirits or wine, or anycovering, carton or wrapper of the container.

(ii) Any editorial or other reading matter in any periodical, publicationor newspaper for the preparation or publication of which no money or othervaluable consideration is paid or promised, directly or indirectly, by any per-son subject to this subchapter.Person—An individual, partnership, joint-stock company, business trust,

association, corporation or other form of business enterprise, including areceiver, trustee or liquidating agent.

Routine business entertainment—Meals, beverages, tickets or passes to con-certs, theaters, arts, sporting or charitable events provided to licensees, tradeorganizations or in-State manufacturers by licensees, trade organizations,in-State manufacturers or out-of-State manufacturers. For purposes of this defi-nition, the term ‘‘licensee’’ includes all entities licensed under the Liquor Codeincluding liquor importer licensees and vendor permittees.

40 § 13.1 LIQUOR CONTROL BOARD Pt. I

13-2(341468) No. 413 Apr. 09 Copyright � 2009 Commonwealth of Pennsylvania

Wine—Any fermented alcoholic beverage produced from grapes, fruit orother agricultural products, which contains 7.0% or more alcohol by volume,and includes, but is not limited to, still wines, sparkling wines, carbonatedwines, imitation wines, vermouth, cider, perry, sake or any product offered forsale as wine.

Source

The provisions of this § 13.1 amended October 2, 1998, effective October 3, 1998, 28 Pa.B. 4920.Immediately preceding text appears at serial page (222632).

Cross References

This section cited in 40 Pa. Code § 13.51 (relating to general prohibition).

Ch. 13 PROMOTION 40 § 13.1

13-2.1(248697) No. 289 Dec. 98

13-2.2(248698) No. 289 Dec. 98 Copyright � 1998 Commonwealth of Pennsylvania

§ 13.2. Applicability.(a) No person engaged in business as a producer, manufacturer, bottler,

importer, wholesaler or retailer of distilled spirits or wine, directly or indirectly,or through an affiliate, shall publish, disseminate or cause to be published or dis-seminated in any newspaper, magazine or similar publication, any advertisementof distilled spirits or wine unless such advertisement is in conformity with thissubchapter.

(b) These provisions do not apply to the publisher of any newspaper, maga-zine, or similar publication, unless such publisher is engaged in business as aproducer, manufacturer, bottler, importer, wholesaler or retailer of distilled spir-its, or wine, directly or indirectly or through an affiliate.

DISTILLED SPIRITS

§ 13.11. Mandatory statements.(a) Every advertisement of distilled spirits under this subchapter shall con-

form to the following:(1) Responsible advertiser. The advertisement shall state the name and

address of the producer, manufacturer, bottler, importer or wholesaler respon-sible for its publication. The street name and number may be omitted in theaddress.

(2) Class, type and distinctive designation. The advertisement shall containa conspicuous statement of the class, type or other designation of the product,corresponding with the complete designation which appears on the brand labelof the product.

(3) Alcoholic content. The alcoholic content shall be stated in the mannerand form in which it appears on the labels of the distilled spirits advertised.

(4) Percentage of neutral spirits and name of commodity. In the case ofdistilled spirits (other than cordials, liqueurs, and specialties) produced byblending or rectification, if neutral spirits have been used in the production,there shall be stated in the advertisement the percentage of neutral spirits usedand the name of the commodity from which such neutral spirits have been dis-tilled in substantially the form in which such statements appear on the labels ofthe distilled spirits advertised. In the case of neutral spirits or of gin producedby a process of continuous distillation, there shall be stated in the advertise-ment the name of the commodity from which such neutral spirits or gin hasbeen distilled substantially in the form in which such statement appears on thelabels of the distilled spirits advertised.

(5) ‘‘Line’’ or ‘‘Brand’’ advertisements. Where an advertisement does notmention a specific product but merely refers to a class of distilled spirits, andthe advertiser markets more than one brand of distilled spirits of that class, orwhere the advertisement refers to several classes of distilled spirits marketed


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under a single brand, the only mandatory information under this section appli-cable to such advertisement is the name and address of the responsible adver-tiser.

(6) Retail establishments. Advertisements by retail establishments whichmerely refer to the availability of distilled spirits in such establishments butwhich make no other reference to a specific brand shall be subject only to theprovisions of § 13.13 (relating to prohibited statements).

(7) Advertising of price and size. Advertisements of distilled spirits whichshow store prices shall use the phrase ‘‘Retail Price’’ in quoting the currentState Liquor Store retail price. Where reference to licensee discount is made theadvertisement shall display the statement ‘‘Discount to Licensees,’’ and suchphrase should appear on the line below ‘‘Retail Price.’’(b) Wholesale prices shall not be shown in advertisements except in the case

of direct mail advertisements to licensees, of special liquor order merchandise,which may show the total wholesale case price, as released by the Board.

(c) A quart shall be advertised as ‘‘quart,’’ 4/5 quart as ‘‘fifth’’ or ‘‘4/5quart,’’ a pint as ‘‘pint,’’ and the like, and all characters shall be of the same size.

§ 13.12. Lettering.Mandatory statements required by this subchapter shall appear in lettering of a

size, kind, and color sufficient to render them readily conspicuous and legible.Required information shall particularly conform to the following:

(1) It shall be stated against a contrasting background and in type or letter-ing which is at least the equivalent of eight-point type.

(2) It shall be so stated as to appear to be part of the advertisement andshall not be separated from the remainder of the advertisement in any manner.

(3) It shall not be concealed in unrequired descriptive matter or decorativedesigns.

(4) Where an advertisement relates to more than one product, the requiredinformation shall appear in such a manner as to clearly indicate the particularproducts to which it is applicable.

Cross References

This section cited in 40 Pa. Code § 13.22 (relating to lettering).

§ 13.13. Prohibited statements.No advertisement of distilled spirits may contain any of the following:

(1) Any statement that is false or misleading.(2) Any statement that is disparaging of the products of a competitor.(3) Any statement or representation which is obscene.(4) Any statement or representation relating to analyses, standards or tests

likely to mislead the consumer, irrespective of falsity.


13-4(222634) No. 266 Jan. 97 Copyright � 1997 Commonwealth of Pennsylvania

(5) Any statement or representation relating to any guaranty likely to mis-lead the consumer, irrespective of falsity.

(6) Any statement that the product is produced or sold in accordance withany authorization, law or regulation of any municipality, county, State, Federalor foreign government, unless such statement is specifically required or autho-rized by the laws or regulations of such entity. Where a municipal, county,State or Federal permit number is stated, such permit number shall not beaccompanied by any additional statement relating thereto.

(7) Any statement concerning a brand or lot of distilled spirits that isinconsistent with any statement on the labeling thereof.

(8) Any statement or representation that the use of any distilled spirits hascurative or therapeutic effects, where such statement is untrue tends to create amisleading impression.

(9) Any statement that the distilled spirits were manufactured in, orimported from, a place other than that of actual origin, or were produced orprocessed by one who was not the true producer or processor.

(10) Any statement or representation of, relating to, or capable of beingconstrued as relating to the Armed Forces of the United States, the AmericanFlag, any state flag or any emblem, seal, insignia or decoration associated withsuch a flag or the Armed Forces of the United States; or any statement or rep-resentation of or concerning any flag, seal, coat of arms, crest, other insignia,or Pennsylvania Keystone, likely to falsely lead the consumer to believe thatthe product has been endorsed, made, used by, produced for, under the super-vision of, or in accordance with the specifications of the government, organi-zation, family, or individual with whom such flag, seal, coat of arms, crest,insignia, or Pennsylvania Keystone is associated.

(11) The words ‘‘bond,’’ ‘‘bonded,’’ ‘‘bottled in bond,’’ ‘‘aged in bond’’ orphrases containing these or synonymous terms, unless such words or phrasesappear in the advertisement in the form in which they appear upon the label.

(12) Any statement or representation concerning the age of any brand or lotof distilled spirits, unless a statement of age appears on the label of such prod-uct. Where any such statement or representation is contained, it shall includeall parts of the statement concerning age and percentages, which appear on thelabel. An advertisement for any whisky or brandy which does not bear a state-ment of age on the label, or for rum four or more years old, may contain gen-eral inconspicuous age representations, for example, ‘‘Aged in Wood,’’ ‘‘Mel-lowed in fine oak casks,’’ etc.

(13) Any statement or representation referring to religious holidays. Refer-ences to the Christmas holiday season may be made where such references donot include strictly religious themes. The continued use of labels and advertise-ments for certain products which for many generations have referred to mon-asteries and religious orders will be permitted.


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(14) Any statement or representation implying that the consumption of dis-tilled spirits enhances athletic prowess, or any reference to any known athlete,if it implies that the use of distilled spirits contributed to the athletic achieve-ments of such person.

(15) Any illustration of a person which is immodest, undignified or in badtaste.

(16) Any illustration depicting the use of distilled spirits in a scene which isundignified, immodest or in bad taste.

(17) Any offer of a prize or award to a consumer for the completion of anycontest requiring a purchase of the advertised product. No distilled spiritsadvertisement shall promote a game of chance or lottery.

Cross References

This section cited in 40 Pa. Code § 13.11 (relating to mandatory statements); and 40 Pa. Code§ 13.23 (relating to prohibited statements).

§ 13.14. [Reserved].

Source

The provisions of this § 13.14 reserved November 12, 2004, effective November 13, 2004, 34Pa.B. 6139. Immediately preceding text appears at serial page (222636).

§ 13.15. General prohibition and enforcement.(a) All types of advertising not specifically permitted in this subchapter are

prohibited.(b) The advertising of anything unlawful is prohibited.(c) The Board may investigate and order the immediate discontinuance of

any acts in violation of the provisions of this Subchapter.(d) Nothing contained in this Subchapter shall exclude any other enforcement

power granted the Board either by the provisions of the Liquor Code or any pro-visions of this title.

Cross References

This section cited in 40 Pa. Code § 13.25 (relating to general prohibition and enforcement).

§ 13.16. Further prohibitions.In addition to the prohibitions of this subchapter, advertisers of distilled spirits

in publications shall comply with all further prohibitions contained in the LiquorCode, particularly in section 493 (47 P. S. § 4-493).

WINE

§ 13.21. Mandatory statements.(a) Every advertisement of wine subject to this subchapter shall conform with

the following:



(1) Responsible advertiser. Every advertisement shall state the name andaddress of the producer, bottler, importer or wholesaler responsible for its pub-lication. The street name and number may be omitted in the address.

(2) Class, type and distinctive designation. Every advertisement shall con-tain a conspicuous statement of the class, type or other designation of the prod-uct, corresponding with the complete designation which appears on the brandlabel of the product.

(3) Retail establishments. Advertisements by retail establishments whichmerely refer to the availability of wine in such establishments but which makeno other reference to a specific brand of wine shall be subject only to the pro-visions of § 13.23 (relating to prohibited statements).

(4) Advertising of price and size. Advertisements of wine which show storeprices shall use the phrase ‘‘Retail Price’’ in quoting the current State LiquorStore retail price. Where reference to licensee discount is made the advertise-ment shall display the statement ‘‘Discount to Licensees,’’ and such phraseshould appear on the line below ‘‘Retail Price.’’(b) No wholesale prices shall be shown in wine advertisements except that

direct mail advertisements to licensees, of special liquor order merchandise, mayshow the total wholesale case price, as released by the Board.

(c) A quart shall be advertised as ‘‘quart,’’ 4/5 quart as ‘‘fifth’’ or ‘‘4/5quart,’’ and a pint as ‘‘pint,’’ and the like, and all characters shall be of the samesize.

§ 13.22. Lettering.Mandatory statements required by this subchapter shall appear in lettering of a

size, kind, and color sufficient to render them readily conspicuous and legible.Required information shall particularly conform to the provisions listed in§ 13.12 (relating to lettering).

§ 13.23. Prohibited statements.No advertisement of wine under this subchapter may contain any of the follow-

ing:(1) Any of the statements described in § 13.13(1)—(6) (relating to prohib-

ited statements).(2) Any statement concerning a brand or lot of wine which is inconsistent

with any statement on the labeling thereof.(3) Any statement, design or device representing that the use of any wine

has curative or therapeutic effects, if such statement is untrue in any particular,or tends to create a misleading impression.

(4) Any statement that the wine was manufactured in, or imported from, aplace other than that of actual origin, or was produced or processed by one whowas not the true producer or processor.


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(5) Any statement or representation of, relating to, or capable of beingconstrued as relating to the Armed Forces of the United States, the Americanflag, any state flag or any emblem, seal, insignia or decoration associated withsuch a flag or the Armed Forces of the United States; nor any statement or rep-resentation of or concerning any flag, seal, coat of arms, crest, other insigniaor Pennsylvania Keystone, likely to falsely lead the consumer to believe thatthe product has been endorsed, made, used by, produced for, under the super-vision of, or in accordance with the specifications of the government, organi-zation, family, or individual with whom such flag, seal, coat of arms, crest,insignia or Pennsylvania Keystone is associated.

(6) Any statement of bonded winecellar and bonded winery numbers,unless stated in direct conjunction with the name and address of the personoperating such winery or storeroom. Statement of bonded winecellar andbonded winery numbers may be made in the following form: ‘‘Bonded Wine-cellar No. ,’’ ‘‘Bonded Winery No. ,’’ ‘‘B.W.C. No. ’’ or‘‘B.W. No. .’’ No additional reference thereto shall be made, nor shallany use be made of such statement that may convey the impression that thewine has been made or matured under U.S. or any state government supervi-sion, or in accordance with U.S. or any state government specifications orstandards.

(7) Any statement or representation relating to alcoholic content or whichtends to create the impression that a wine is ‘‘unfortified’’ or ‘‘fortified,’’ hasintoxicating qualities, or contains distilled spirits, except where a reference todistilled spirits in a statement of composition is required by this subchapter toappear as a part of the designation of the product.

(8) Any statement relating to age except in the following instances:(i) In the case of vintage wine, the year of vintage may be stated if it

appears on the label.(ii) Truthful references of an informative nature relating to methods of

production involving storage or aging (such as ‘‘This wine has been mel-lowed in oak casks,’’ ‘‘Stored in small barrels,’’ or ‘‘Matured at regulatedtemperatures in our cellars’’) may be made.

(iii) The statement of any bottling date will not be deemed a representa-tion of age if such statement appears in the following form: ‘‘Bottled in

’’, (inserting the year in which the wine was bottled).(iv) No date, except as provided in subparagraphs (i)—(iii) shall be

stated unless, in addition direct conjunction therewith, in the same size andkind of printing there is stated an explanation of the significance of suchdate. Where reference is made to the date of establishment of any business,such date may be stated without undue emphasis and in direct conjunctionwith the name of the person to whom it refers.(9) Any statement or representation referring to religious holidays. Refer-

ences to the Christmas holiday season may be made where such references do



not include strictly religious themes. The continued use of statements or illus-trations alluding to the traditional use of wine, or the historical development ofthe wine growing industry in connection with the establishment of early reli-gious communities which might be associated with religious origins or devel-opment, will be permitted.

(10) Any statement or representation implying that the consumption of wineenhances athletic prowess, or any reference to any known athlete, if it impliesthat the use of wine contributed to the athletic achievements of such person.

(11) Any illustration of a person which is immodest, undignified or in badtaste.

(12) Any illustration depicting the use of wine in a scene which is undigni-fied, immodest or in bad taste.

(13) Any offer of a prize or award to a consumer for the completion of anycontest requiring a purchase of the advertised product. No wine advertisementshall promote a game of chance or lottery.

Cross References

This section cited in 40 Pa. Code § 13.21 (relating to mandatory statements).


Source

The provisions of this § 13.24 reserved November 12, 2004, effective November 13, 2004, 34Pa.B. 6139. Immediately preceding text appears at serial page (274521).

§ 13.25. General prohibition and enforcement.The advertising of wine shall be subject to the regulations set forth in § 13.15

(relating to general prohibition and enforcement).

§ 13.26. Further prohibitions.In addition to the provisions of this subchapter, advertisers of wine in publica-

tions shall comply with all further prohibitions contained in the Liquor Code,particularly in section 493 (47 P. S. § 4-493).

§ 13.27. Board participation in wine events.(a) Section 215(e) of the Liquor Code (47 P. S. § 2-215(e)) authorizes the

Board to sponsor or participate in wine events. A ‘‘wine event’’ is a show, dem-onstration, exposition or festival that has a purpose of educating consumers aboutwine that is available in this Commonwealth.

(b) Persons seeking Board sponsorship or participation in a wine event shallsubmit a request in writing to the Board at least 60 days prior to the first day ofthe wine event.

(c) If the Board decides to sponsor or participate in the wine event, it willissue a letter of authority to the event organizer. The Board’s letter will describethe premises upon which the wine event will be held.

(d) If the Board decides not to sponsor or participate in the wine event, theBoard’s decision is final, and may not be appealed.


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(e) Wine to be used in a wine event that the Board sponsors or participates inmay be acquired and possessed in accordance with the following:

(1) Wine donated for the wine event may be shipped directly to the wineevent organizer or its agents.

(2) Records showing the amount, types and brands of all wine received, theidentity of the donors and the dates received and documents evidencing pay-ment of all necessary taxes shall be forwarded to the Board prior to the wineevent.

(3) Wine obtained for the wine event that is not used at the wine eventshall be returned to the donor, donated to a nonprofit, charitable organizationregistered with the Department of State or destroyed and may not be sold.

(4) Wine may also be obtained for the wine event through the Board’swine and spirits stores.(f) The Board’s letter of authority authorizes the wine event organizer or its

agents to possess and transport wine for the wine event.(g) Participation in the wine event, including the service and consumption of

wine, may be conditioned on the purchase of a ticket to the wine event. The wineevent organizer, its agents or the Board may sell tickets. Sale of tickets by thewine event organizer or its agents does not constitute the unlawful sale of alco-hol.

(h) The wine event organizer shall appoint a manager who shall be present onthe premises at all times during the wine event.

(i) The Board may sell wine for off-premises consumption in an area it des-ignates at the wine event. The Board shall comply with the provisions of theLiquor Code governing retail sales at Wine and Spirits Stores, except thatadvance advertisement or notice posting by the Board of the location of the des-ignated sales area is not required and provisions granting a right of protest willnot be applicable.

(j) If the premises where the wine event is to occur is licensed by the Board,the licensee will not be cited under the Liquor Code for conduct occurring on thelicensed premises during the wine event, so long as the licensee, its employees oragents are not directly involved in the violation and are not participating in theoperation or management of the wine event.

Authority

The provisions of this § 13.27 issued under section 207(i) of the Liquor Code (47 P. S. § 2-207(i)).

Source

The provisions of this § 13.27 adopted January 5, 2007, effective January 6, 2007, 37 Pa.B. 16.

ADVERTISING OF BRAND NAMES

Source

The provisions of these §§ 13.41—13.43 adopted June 26, 1952, amended through April 24, 1970,unless otherwise noted.


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§ 13.41. Malt or brewed beverages.Manufacturers and importing distributors of malt or brewed beverages may

include the names and addresses of all distributors and importing distributors towhom they sell in the locality covered by the advertising. No discrimination maybe shown to one distributor or importing distributor over another, and where morethan one distributor or importing distributor purchases the products from themanufacturer or importing distributor in the area covered by the advertisement,the names and addresses of all who purchase the product directly from the adver-tiser shall be displayed or mentioned in equal prominence. Where this is notdone, none may be displayed or mentioned.

Source

The provisions of this § 13.41 amended November 15, 1985, effective September 25, 1985, 15Pa.B. 4131. Immediately preceding text appears at serial page (4242).

§ 13.42. Window and doorway display.

(a) A licensee may install or permit to be installed any electrically operatedsigns or devices, lithographs, framed pictures, cardboard displays, statuettes,plaques, placards, streamers or similar items advertising brand names andintended for window and doorway display on the licensed premises.

(b) Advertising may not exceed 600 square inches in display area. When theadvertising material is of maximum size, no background material may be used.When installing signs of smaller size, the combined area of the sign and back-ground or decoration may not exceed the maximum area of 600 square inches.

Source

The provisions of this § 13.42 amended November 22, 1996, effective November 23, 1996, 26Pa.B. 5699; amended November 12, 2004, effective November 13, 2004, 34 Pa.B. 6139. Immediatelypreceding text appears at serial page (274522).

Cross References

This section cited in 40 Pa. Code § 13.43 (relating to interior display).

§ 13.43. Interior display.

(a) A licensee may install or permit to be installed electrically operated signsor devices, lithographs, framed pictures, cardboard displays, statuettes, plaques,placards, streamers or similar items advertising brand names and intended forinterior display on the licensed premises.

(b) When the point-of-sale material, as described in subsection (a), is ofmaximum value as set by the Board, no background material may be used inconjunction with the installation.


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(c) Signs or displays intended for use interchangeable in a window, doorwayor in the interior must meet the requirements for both maximum area, as providedin § 13.42 (relating to window and doorway display) and maximum value as setby the Board.

Authority

The provisions of this § 13.43 amended under section 207(i) of the Liquor Code (47 P. S.§ 2-207(i)).

Source

The provisions of this § 13.43 amended November 22, 1996, effective November 23, 1996, 26Pa.B. 5699; amended January 19, 2001, effective January 20, 2001, 31 Pa.B. 430; amended Novem-ber 12, 2004, effective November 13, 2004, 34 Pa.B. 6139; amended March 5, 2010, effective March6, 2010, 40 Pa.B. 1149. Immediately preceding text appears at serial pages (325015) to (325016).

GIVING AND ACCEPTING THINGS OF VALUE

Source

The provisions of these §§ 13.51—13.52 adopted June 26, 1952; amended through April 24, 1970,unless otherwise noted.

§ 13.51. General prohibition.(a) Except as provided herein and in § 13.52 (relating to advertising novel-

ties), no in-State or out-of-State manufacturer, licensee or group of licensees,their servants, agents or employees, may directly or indirectly, in person, indi-vidually or through a trade organization, contribute to or accept from another lic-ensee or group of licensees of a different class, their servants, agents or employ-ees or a trade organization of licensees of a different class, anything of value bymeans of advertisements, contributions, purchase, sale of tickets, donations or byany device, for any purpose.

(b) Manufacturers of alcoholic beverages and their servants, agents, employ-ees or representatives are not prohibited from participating in the activities ofconventions of State or National organizations of retail liquor licensees, or dis-tributor or importing distributor malt beverage licensees. The participation shallbe limited to the payment of registration fees entitling the registrant to admissionto the convention, to the insertion of advertising in the convention program of theState or National convention and to the furnishing of food, beverages and enter-tainment to persons who are bona fide registrants at the conventions.

(c) This section does not prohibit an in-State or out-of-State manufacturer,licensee or trade organization from providing another in-State or out-of-Statemanufacturer, licensee or trade organization routine business entertainment asdefined in § 13.1 (relating to definitions). The routine business entertainmentshall be subject to the following conditions:


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(1) Routine business entertainment shall be provided without a correspond-ing obligation on the part of the recipient to purchase alcoholic beverages or toprovide any other benefit to the donor or to exclude or restrict from sale theproducts of any other licensee or in-State or out-of-State manufacturer.

(2) The donor, its servants, agents or employees shall accompany therecipient during routine business entertainment. When items such as tickets aredonated by manufacturers to importing distributors for the ultimate use ofretailers, the donor is considered to be the importing distributor and it is theimporting distributor, or its servants, agents or employees, who shall accom-pany the retailer.

(3) Routine business entertainment that requires or includes an overnightstay is prohibited.

(4) No more than $800 may be spent in a calendar year on any recipientlicensee.

(5) Included under the $800 yearly entertainment cap for a recipient lic-ensee are the licensee, a spouse, employees and guests.

(6) Licensees, in-State manufacturers and out-of-State manufacturers shallkeep complete and accurate records of all expenses incurred and all routinebusiness entertainment received for 2 years. These records must contain thename of the recipient and donor of the entertainment, the type of routine busi-ness entertainment, the date and, in the case of a donor, the amount of expen-diture for each occasion.(d) After prior written agreement, manufacturers may reimburse importing

distributors or distributors for the cost of affixing the manufacturers’ beer brandlogos to importing distributors’ or distributors’ delivery vehicles.

(e) The sponsorship of a tasting upon a licensed premises will not be consid-ered giving or accepting a thing of value.

Authority

The provisions of this § 13.51 amended under section 207(i) of the Liquor Code (47 P. S.§ 2-207(i)).

Source

The provisions of this § 13.51 adopted June 26, 1952; amended through April 24, 1970; amendedOctober 2, 1998, effective October 3, 1998, 28 Pa.B. 4920; amended November 12, 2004, effectiveNovember 13, 2004, 34 Pa.B. 6139; amended March 5, 2010, effective March 6, 2010, 40 Pa.B. 1149.Immediately preceding text appears at serial pages (325016) to (325017).

§ 13.52. Advertising novelties.(a) Under section 493(24) of the Liquor Code (47 P. S. § 4-493(24)), adver-

tising novelties of nominal value may be distributed by manufacturers or anyclass of licensee to trade or consumer buyers. Advertising novelties includematches, disposable lighters, bottle or can openers, caps, tee shirts, recipe pam-phlets, pens, corkscrews and ashtrays, which bear advertising matter.


13-12.1(348115) No. 426 May 10

(b) Advertising novelties may not contain obscene or pornographic matter orreferences.

(c) Nominal value, as used in this subsection, means an amount not to exceeda monetary limit established and disseminated by the Board. Advertising novel-ties provided by manufacturers or any class of licensee may not be used asequipment by any hotel, restaurant, club, retail dispenser, importing distributor ordistributor licensee. Notwithstanding any other provisions of this section, licens-ees may sell glasses at not less than cost and provide metal keg connectors andtap knobs to other licensees and to holders of special occasion permits. Manufac-turers or importers may furnish, give, rent, loan or sell wine lists or menus toretail licensees. The wine lists/menus may involve cooperative endeavors relatedto cost sharing and advertisement between manufacturers/importers and retail lic-ensees. Wine lists/menus for on-premises use may contain preprinted prices.

(d) Advertising banners/signs for exterior use are considered advertising nov-elties if the banners/signs conspicuously advertise the alcoholic beverage prod-ucts sold by the licensee or the name of the manufacturer of alcoholic beverageproducts sold by the licensee. Exterior advertising banners/signs must complywith section 498 of the Liquor Code (47 P. S. § 4-498).

(e) Advertising banners/signs that are used for interior display are not subjectto the advertising novelty cost limit, but are subject to the point of sale advertis-ing cost limit as set by the Board in its Advisory Notice No. 10 (as amended).

(f) Licensees of any class may sell promotional items advertising their ownbusiness only, such as tee shirts, mugs, caps and other similar items, to the gen-eral public.

Source

The provisions of this § 13.52 amended March 21, 1986, effective May 21, 1986, 16 Pa.B. 954;amended November 12, 2004, effective November 13, 2004, 34 Pa.B. 6139. Immediately precedingtext appears at serial pages (274524) and (248701).

Cross References

This section cited in 40 Pa. Code § 13.51 (relating to general prohibition).

§ 13.53. Bar spending/free drinks.

Representatives of manufacturers and licensees may give or purchase an alco-holic beverage for consumers in retail licensed premises provided the giving ofthe alcoholic beverage is not contingent upon the purchase of any other alcoholicbeverage and is limited to one standard-sized alcoholic beverage per patron inany offering. A standard-sized alcoholic beverage is 12 fluid ounces of a malt orbrewed beverage, 4 fluid ounces of wine (including fortified wine) and 1 1/2 fluidounces of liquor.


13-12.2(348116) No. 426 May 10 Copyright � 2010 Commonwealth of Pennsylvania

Source

The provisions of this § 13.53 adopted November 12, 2004, effective November 13, 2004, 34Pa.B. 6139.

§ 13.54. Point of sale (POS) incentive programs—defined.A POS incentive program provides prizes for nonlicensed buyers to purchase

and for distributors/importing distributors to promote the sale of a brand of maltor brewed beverages. These promotions feature displays or advertisements at thelocation where a sale is made.

Authority


Source


§ 13.56. Permissible point of sale (POS) incentive programs.(a) A POS incentive program must be sponsored by a manufacturer or

importing distributor of malt or brewed beverages.(b) The composite value of prizes available to nonlicensed buyers shall be at

least three times the value of prizes available to distributors/importing distribu-tors.

(c) Associated display and novelty items must be directed at and available fornonlicensed buyers.

(d) A prize may not be given to every participant.(e) The value of a prize for a nonlicensed buyer may not exceed $1,500.(f) The POS incentive program may not incorporate a payment to licensees

based on the number of cases displayed.(g) The POS incentive program shall be approved in advance by the Office

of Chief Counsel, Pennsylvania Liquor Control Board.

Authority


Source


MISCELLANEOUS PROVISIONS

Source

The provisions of these §§ 13.61—13.62 adopted June 26, 1952; amended through April 24, 1970,unless otherwise noted.


13-12.3(348117) No. 426 May 10

§ 13.61. Labeling and advertising of wine and distilled spirits.Federal Regulation No. 4, as amended, relating to labeling and advertising of

wine, and Federal Regulation No. 5, as amended, relating to labeling and adver-tising of distilled spirits, are applicable to the traffic in wine and distilled spiritswithin this Commonwealth.

§ 13.62. Distribution of price lists, circulars or handbills.(a) Except as provided in subsection (b), no licensee may distribute, by mail,

personally, or through servants, agents or employes, price lists, circulars or hand-bills off the licensed premises to the general public as a means of advertisingliquor, wine, or malt or brewed beverages.

(b) Distributors, importing distributors, manufacturers of malt or brewed bev-erages, or licensed vendors selling liquors to the Board and holding a Manufac-turer, Importer or Limited Winery License or vendor’s permit may notify licensedpurchasers by mail, personally, or through servants, agents, or employes, of thesales price of malt or brewed beverages or liquors, or may furnish descriptivebrochures, pamphlets or items of a similar nature, to licensed purchasers. Therough copy and layouts for all proposed direct mail advertising shall be submit-ted before use to the Board for approval. Further, Limited Winery Licensees maynotify prospective purchasers other than licensees by mail, personally, or throughservants, agents, or employes, of the sales price of wines, or may furnish descrip-tive brochures, pamphlets or other items of similar nature, to such other prospec-


13-12.4(348118) No. 426 May 10 Copyright � 2010 Commonwealth of Pennsylvania

tive purchasers provided that such other prospective purchasers have requested inwriting to be placed on the mailing list of Limited Winery Licensees.

Source

The provisions of this § 13.62 amended May 9, 1980, effective May 10, 1980, 10 Pa.B. 1878.Immediately preceding text appears at serial page (4245).

Notes of Decisions

Price Lists

The presence and distribution of handbills inside the premises of a beer distributor do not consti-tute advertising, and this section is not violated when patrons remove price lists from the premises.State Police v. Case Beer & Soda Outlet, Inc., 627 A.2d 226 (Pa. Cmwlth. 1993).

Subchapter B. MARKETING BY VENDORS AND AGENTS;SPECIAL ORDERS; LUXURY ITEM ORDERS; SAMPLES

AND UNLAWFUL ACTS

Sec.13.71. Definitions.13.72. [Reserved].13.73. Privileges of vendors’ agents.13.74. [Reserved].13.75. [Reserved].13.76. Special order listings.13.77. [Reserved].13.78. Special and luxury item orders: requirements and conditions.13.79. Special orders and luxury item orders: restrictions.13.80. [Reserved].13.81. Samples of liquor.13.82. Unsolicited special liquor orders.13.83. Stock merchandise request forms.13.84. Authorization for agents to purchase for retail customers.13.85. Unlawful acts.13.86. Agency provisions.13.87. Records.13.88. Presumption of liability of vendor.13.89. Penalties.

Source

The provisions of this Subchapter B adopted November 2, 1964, amended through March 6, 1970,unless otherwise noted.


ing meanings, unless the context clearly indicates otherwise:


13-13(341469) No. 413 Apr. 09

Agent—An individual employed by a licensed vendor, to promote the sale ofliquor through State Liquor Stores. A person who is a licensee or the holder ofa Malt or Brewed Beverage License, or an officer, director, agent or employeeof either a licensee or such a licensee, or who is not at least 21 years of age,and of good character, is not eligible to be an agent of a vendor under this sub-chapter.

Licensed vendor—A licensee holding a Manufacturer or Importer License, ora vendor’s permit, and selling liquors to the Board.

Licensee—A natural person, partnership, association or corporation holdinga Hotel, Restaurant, Club or Public Service Liquor License issued by theBoard.

Luxury items—Stock merchandise which, based upon their short supply orhigh demand, have been designated as such by the Board. Sales of luxury itemsmay be initiated at a State Liquor Store or by a vendor or its agent on behalfof a licensee or other person.

Miniature—A container containing less than 6 ounces of a liquor, as preparedfor the market.

Other persons—Nonlicensee individuals, such as private citizens.Special order listing—The formal filing with the Board, on its prescribed

form, of information the Board requires as to brand, age, proof, type, blend,cost, and the like, of liquors to be sold through the Special Liquor Order Divi-sion. The listing does not become effective until approved by the Board or itsauthorized representative.

Stock merchandise—Liquors which are obtainable at a State Liquor Store,without placing a special liquor order.

Vendor’s permit—A permit issued to a nonresident vendor under section208(j) of the Liquor Code (47 P. S. § 2-208(j)). An application for the permitshall be filed with the Board accompanied by proper fees in accordance withsection 614-A of The Administrative Code of 1929 (71 P. S. § 240.14A). Apermit will be issued for the calendar year only.

Source

The provisions of this § 13.71 amended March 12, 1993, effective March 13, 1993, 23 Pa.B. 1145;amended December 17, 1999, effective December 18, 1999, 29 Pa.B. 6337; amended February 6,2009, effective February 7, 2009, 39 Pa.B. 682. Immediately preceding text appears at serial pages(261759) to (261760).

Notes of Decisions

License

The special order form regulations require the signature of the actual purchaser, whether a licenseeor an individual customer and for these purposes, a ‘‘licensed vendor’’ is not a ‘‘licensee.’’ MargolisWines and Spirits, Inc. v. Liquor Control Board, 453 A.2d 43 (Pa. Cmwlth. 1982).




Source

The provisions of this § 13.72 amended through June 18, 1982, effective July 1, 1982, 12 Pa.B.1860; amended March 12, 1993, effective March 13, 1993, 23 Pa.B. 1145; amended August 29, 1997,effective August 30, 1997, 27 Pa.B. 4432; reserved December 17, 1999, effective December 18, 1999,29 Pa.B. 6337. Immediately preceding text appears at serial pages (222644) and (234133).

§ 13.73. Privileges of vendors’ agents.

(a) Agents may advertise and promote the sale of stock merchandise by‘‘missionary work’’ of only those brands sold to the Board by the vendor bywhom the agents are employed.

(b) Agents may solicit orders from retail purchasers for stock merchandise orgift certificates for the merchandise.

(c) Agents may solicit from licensees or other persons, orders for thosebrands of liquor which have been listed with the Special Liquor Purchase Divi-sion by the vendors by whom the agents are employed. Special orders obtainedby vendors’ agents shall be filed with one of the State Liquor Stores as requiredin this subchapter.

(d) Agents may solicit from licensees or other persons, orders for thosebrands of liquor which have been designated by the Board as luxury items.Orders for luxury items obtained by vendors’ agents shall be filed with one of theState Liquor Stores as required in this subchapter.

Source

The provisions of this § 13.73 amended December 17, 1999, effective December 18, 1999, 29Pa.B. 6337; amended February 6, 2009, effective February 7, 2009, 39 Pa.B. 682. Immediately pre-ceding text appears at serial page (261761).


Source

The provisions of this § 13.74 amended October 16, 1981, effective January 1, 1982, 11 Pa.B.3552; reserved December 17, 1999, effective December 18, 1999, 29 Pa.B. 6337. Immediately pre-ceding text appears at serial page (234134).


Source

The provisions of this § 13.75 amended October 16, 1981, effective January 1, 1982, 11 Pa.B.3552; reserved December 17, 1999, effective December 18, 1999, 29 Pa.B. 6337. Immediately pre-ceding text appears at serial pages (234134) and (222647).


13-15(341471) No. 413 Apr. 09

§ 13.76. Special order listings.

(a) It is the intent of this section that vendors shall not compete on specialorder with items sold to the Board as stock merchandise.

(b) No brand of liquor will be accepted for special order listing unless suchbrand conforms with the requirements of the Board for listing as stock merchan-dise.

(c) All listings of liquor, except wine, shall be limited to case quantities, con-taining not less than 240 fluid ounces unless specially authorized by the Board.Listings of wines and liquors in quarts will not be accepted if 4/5 quarts of thesame brand are sold as stock merchandise. Listings in 4/5 quarts will not beaccepted if the same brand is sold in quarts as stock merchandise. Other listingswill be at the discretion of the Board.

(d) If a vendor has a brand of liquor, except wine, listed as stock merchan-dise, the Board will not accept for listing by him any other brand of the sameclass, unless the cost to the Board is at least $3.00 per case more than the cost ofthe brand listed as stock merchandise, except where specially authorized.

(e) Change of proof or age will not be considered as a different class exceptwhen such change in proof or age causes a change in class under Federal law orregulations.

(f) If a vendor has a brand of liquor except wine, listed as stock merchandiseand stocked in the State Liquor Stores in two or more bottle sizes, he may notlist the same brand in an additional bottle size on special order under this sectionunless specially authorized by the Board.

(g) If a vendor has any stock listed brand of United States wine selling at thelowest price, the Board will not accept from him for special liquor order listinganother brand of the same type that would sell for the same or a lower price.

(h) No listing of combination cases or assortments containing whiskies or drygins will be accepted by the Board. No listing will be effective, nor shall pricesbe quoted, nor orders solicited, until such listing has been approved by the Boardand the selling prices formally released in writing to the vendor. The cost pricesupon which such selling prices are based will not become effective until the sell-ing prices are released.

(i) The Board reserves the right to cancel any special order listing at any timeor list any brands of liquor as stock merchandise.


Source

The provisions of this § 13.77 amended through September 30, 1983, effective October 1, 1983,13 Pa.B. 2972; amended December 17, 1999, effective December 18, 1999, 29 Pa.B. 6337; reservedFebruary 6, 2009, effective February 7, 2009, 39 Pa.B. 682. Immediately preceding text appears atserial pages (261762) to (261763).



Notes of Decisions

Violation

A licensed vendor violates the order book procedures prescribed by 40 Pa. Code § 13.77(a) whenit lists its agent as the retail customer. For this purpose, a ‘‘licensed vendor’’ is not a ‘‘licensee.’’Margolis Wines & Spirits, Inc. v. Liquor Control Board, 453 A.2d 43 (Pa. Cmwlth. 1982).

§ 13.78. Special and luxury item orders: requirements and conditions.(a) Orders obtained in accordance with this subchapter and presented by

licensed vendors or their agents to State Liquor Stores for licensees shall be filledat the established wholesale case prices prescribed by the Board for sales to lic-ensees. The wholesale prices apply only when the retail value of the order equalsor exceeds the minimum retail value established by the Board.

(b) Orders presented at State Liquor Stores by agents on behalf of personsother than licensees, such as individuals, or orders presented by individual cus-tomers themselves, shall be at the established retail special liquor order or luxuryitem prices. No order may be taken for less than two bottles.

(c) A licensed vendor or the vendor’s agents may not obtain an order fromeither a licensee or other person unless there is obtained at the same time a sumnot less than the amount required by the Board for deposit on special order salesunder the Liquor Code. State Liquor Stores may, at the time of receiving the orderor releasing the liquor to the purchaser, accept the checks of licensees in payment.

(d) A licensed vendor or the vendor’s agent may not extend credit to a lic-ensee or any other person.

Source

The provisions of this § 13.78 amended July 8, 1977, 7 Pa.B. 1890; amended December 17, 1999,effective December 18, 1999, 29 Pa.B. 6337; amended February 6, 2009, effective February 7, 2009,39 Pa.B. 682. Immediately preceding text appears at serial page (261763).

§ 13.79. Special orders and luxury item orders: restrictions.(a) Licensed vendors and their agents shall place special orders for liquor at

State Liquor Stores.(b) Except by special permission of the Board, special order merchandise

may not be delivered to a State Liquor Store until the licensed vendor hasreceived from the Board a formal purchase order calling for the delivery of theliquor. Each case of liquor so delivered shall have clearly marked thereon, inaddition to the information required by Federal or State regulations, the purchaseorder number, the store order number, the brand and size, the code number ascalled for in the purchase order, and other information the Board may prescribe.

(c) Liquor sold to licensees will be released only at the State Liquor Store, tothe licensee or the licensee’s agent as named on the Wholesale Purchase PermitCard of the licensee.


13-17(341473) No. 413 Apr. 09

(d) Special orders placed by a licensed vendor or the vendor’s agent for aretail customer may be released by the State Liquor Store.

(e) Licensed vendors and their agents shall place luxury item orders forliquor at State Liquor Stores.

(f) Except by special permission of the Board, luxury item order merchandisemay not be delivered to a State Liquor Store until the licensed vendor hasreceived from the Board a formal purchase order calling for the delivery of theliquor. Each case of liquor so delivered shall have clearly marked thereon, inaddition to the information required by Federal or State regulations, the purchaseorder number, the store order number, the brand and size, the code number ascalled for in the purchase order, and other information the Board may prescribe.

(g) Liquor sold to licensees will be released only at the State Liquor Store, tothe licensee or the licensee’s agent as named on the Wholesale Purchase PermitCard of the licensee.

(h) Luxury item orders placed by a retail customer, a licensed vendor or thevendor’s agent for a retail customer, may be released by the State Liquor Store.

Source

The provisions of this § 13.79 amended December 17, 1999, effective December 18, 1999, 29Pa.B. 6337; amended February 6, 2009, effective February 7, 2009, 39 Pa.B. 682. Immediately pre-ceding text appears at serial pages (261763) to (261764).

Notes of Decisions

Violation

A licensed vendor violates the order book procedures prescribed by 40 Pa. Code § 13.79(a) whenit lists its agent as the retail customer. For this purpose, a ‘‘licensed vendor’’ is not a ‘‘licensee.’’Margolis Wines and Spirits, Inc. v. Liquor Control Board, 453 A.2d 43 (Pa. Cmwlth. 1982).


Source

The provisions of this § 13.80 reserved September 30, 1983, effective October 1, 1983, 13 Pa.B.2972. Immediately preceding text appears at serial page (4253).

§ 13.81. Samples of liquor.(a) Each agent of a licensed vendor may not use more than one case of each

brand of liquor sold by the vendor as samples during any calendar month. Thesamples shall be purchased only through the Board, at a sum equal to the costprice to the Board plus 25% and any required taxes. The purchase of samples atretail in any State Store is prohibited. A separate order for samples shall be placedfor each agent, and the name of the agent shall appear on the order. The vendor(or the vendor’s authorized supervisor) may be permitted to purchase and distrib-ute to the vendor’s agents the prescribed allotment for all agents under the ven-dor’s supervision. The vendor shall, upon request, file with the Board a statement



giving the name of the vendor’s authorized supervisor, together with the territo-ries and names of all agents under his supervision.

(b) The samples described in subsection (a) shall be restricted in size to halfpints of distilled spirits, and to half bottles or smaller sizes of wine, except whenoperating conditions do not permit supplying the sizes, in which cases the Boardmay, upon proper application setting forth satisfactory reasons, permit the use ofother sizes as samples.

(c) Sample bottles, before leaving the State Liquor Store, shall have affixedthereto a separate label, or lettering on the commercial label, at least 1/4 inchhigh, reading: ‘‘Sample. Not to be sold. Possession of this bottle by licenseeunlawful.’’

(d) Each licensed vendor shall keep a permanent stock ledger record of all thesamples purchased by him, the names of the agents to whom samples wereissued, and the quantity and brand. Each authorized supervisor of a vendor shallkeep in his office in this Commonwealth a permanent stock ledger record of allsamples purchased and distributed by him to his agents as provided in this sec-tion. A requisition shall be prepared for each package removed from samplestock, bearing the signature of the agent receiving the merchandise.

Source

The provisions of this § 13.81 amended December 17, 1999, effective December 18, 1999, 29Pa.B. 6337. Immediately preceding text appears at serial pages (222649) to (222650).

Cross References

This section cited in 40 Pa. Code § 13.223 (relating to procurement of wine or spirits or both); and40 Pa. Code § 13.231 (relating to general provisions).

§ 13.82. Unsolicited special liquor orders.Nothing in this subchapter applies to unsolicited special liquor orders under the

Liquor Code except the deposit required and the minimum case quantity.

Source

The provisions of this § 13.82 amended through September 30, 1983, effective October 1, 1983,13 Pa.B. 2972. Immediately preceding text appears at serial pages (4253) and (4254).

§ 13.83. Stock merchandise request forms.(a) Agents engaged in promoting the sale of stock merchandise may use a

stock merchandise request form to assure the availability of any merchandiserequested by licensees in full case lots. Licensed vendors may obtain supplies ofthis form from the Bureau of Logistics of the Board at a cost set by the Board tocover the cost of each order book and postage.

(b) Completed forms shall be directed to the State Liquor Store from whichthe licensee desires to purchase such merchandise. Only requests for full casesreceived at the store by mail or delivered to the store by a retail licensee will beaccepted. Licensed vendors or their agents may not personally deliver suchrequests to a State Store.

(c) Vendors or their agents may not accept cash deposits on stock merchan-dise requests.


13-19(341475) No. 413 Apr. 09

(d) The use of stock merchandise request forms is restricted to promotionalwork with retail licensees.

SourceThe provisions of this § 13.83 amended through September 30, 1983, effective October 1, 1983,

13 Pa.B. 2972. Immediately preceding text appears at serial page (4254).

§ 13.84. Authorization for agents to purchase for retail customers.(a) Registered agents of vendors, by using stock merchandise request forms,

may purchase stock merchandise, or gift certificates for stock merchandise, forretail customers.

(b) Where a retail customer has signed the form, it may be presented by theagent to any State Liquor Store as authorization for the purchase of either stockmerchandise or gift certificates for the quantity and brand specified, for such cus-tomer.

§ 13.85. Unlawful acts.Pursuant to sections 491(14) and 493(22) and (23) of the Liquor Code (47 P. S.

§§ 4-491(14) and 4-493(22) and (23)), the following are prohibited:(1) To grant, allow, pay or rebate any cash, merchandise, or other thing of

value to licensees, their servants, agents, or employes, including the purchaseof merchandise at retail for delivery to a licensee; to grant, allow or pay any-thing of value to a licensee, their servants, agents, or employes, for the privi-lege of advertising display; to purchase drinks ‘‘for the house’’ to induce thesale of merchandise.

(2) To visit State Liquor Stores or warehouses or directly or indirectlycontact store or warehouse employes for the purpose of promoting the sales ofmerchandise except where the Board has formally approved such visits for theaccomplishment of authorized merchandising programs.

(3) To attempt to solicit or induce Board personnel to promote the sale ofparticular brands.

(4) To attempt to procure information as to the merchandise inventories ofState Stores except that, in those instances where the Board has formallyapproved vendor merchandising programs, inventory information as to the spe-cific products involved in such merchandising programs may be obtained.

(5) To furnish entertainment or offer gratuities to Board personnel.(6) To grant, allow, or pay money or other thing of substantial value to lic-

ensees, their servants, agents, or employes, or induce the sale of merchandise.(7) To represent expressly or by implication connection with any depart-

ment of the State Government.(8) To repurchase, replace, or exchange any liquors purchased by licensees

or other persons from State Stores. Defective liquors will be replaced only bythe store from which such liquors were purchased, in accordance with Boardprocedure.

SourceThe provisions of this § 13.85 amended October 16, 1981, effective October 17, 1981, 11 Pa.B.

3553. Immediately preceding text appears at serial page (4255).



§ 13.86. Agency provisions.Licensed vendors and their agents shall, except as otherwise restricted in this

title, be considered the agents of the persons from whom they obtain specialliquor orders or luxury item orders. Neither the Commonwealth nor the Boardwill be responsible for the proper disposition of moneys collected from a licenseeor other person by a licensed vendor or his agents, and under no circumstanceswill the Commonwealth or the Board be responsible for actions of a licensedvendor or his agents.

SourceThe provisions of this § 13.86 amended December 17, 1999, effective December 18, 1999, 29

Pa.B. 6337; amended February 6, 2009, effective February 7, 2009, 39 Pa.B. 682. Immediately pre-ceding text appears at serial pages (307860) and (261767).

§ 13.87. Records.(a) Every licensed vendor shall maintain and keep complete records of all

operations in this Commonwealth for 2 years, which shall be open to inspectionby authorized representatives of the Board during normal business hours. Theserecords must include salaries or commissions of all agents and other employeesworking in this Commonwealth, expenses of the employees supported by detailedvouchers, all promotional and advertising expenditures, special order sales,luxury item sales and stock merchandise requests.

(b) The agents of vendors operating in this Commonwealth shall maintaincomplete records covering their operations in this Commonwealth. The recordsmust also be open to inspection by authorized representatives of the Board dur-ing normal business hours.

SourceThe provisions of this § 13.87 amended December 17, 1999, effective December 18, 1999, 29

Pa.B. 6337; amended February 6, 2009, effective February 7, 2009, 39 Pa.B. 682. Immediately pre-ceding text appears at serial page (261767).

§ 13.88. Presumption of liability of vendor.In the absence of persuasive evidence to the contrary, it will be presumed that

any representative of a vendor who violates this subchapter acts with the consentand knowledge of such vendor, or employer. Penalties will be fixed accordinglyon agent, vendor or employer, or both.

§ 13.89. Penalties.Upon learning of any violation of this subchapter or of any other provisions of

this part, or of any laws of the Commonwealth relating to liquor, malt or brewedbeverages, or alcohol, by any licensed vendor, or registered or unregistered agentor upon any other sufficient cause shown, the Board may, within one year fromthe date of such violation or cause appearing, cite such licensed vendor or regis-tered agent, or both, to appear before it or its examiner not less than ten nor morethan 15 days from the date of sending such person by registered mail, a noticeaddressed to the vendor or the registered agent, or both, at the address filed withthe Board, to show cause why the license, permit, or registrations should not besuspended or revoked. Upon such hearing, the Board may suspend or revoke such


13-21(379853) No. 497 Apr. 16

licenses, permits, or registrations and shall notify the licensed vendor or regis-tered agent by registered mail. Any licensed vendor or registered agent whoselicense, permit, or registration has been revoked shall be ineligible to hold anylicense, permit, or registration relating to liquor, malt or brewed beverages, oralcohol, until the expiration of 3 years from the date of revocation. The action ofthe Board will be final.

Source

The provisions of this § 13.89 amended October 16, 1981, effective January 1, 1982, 11 Pa.B.3552. Immediately preceding text appears at serial page (4256).

Subchapter C. SOLICITATION FOR THE PURCHASE OFALCOHOLIC BEVERAGES

Sec.13.101. Prohibition against solicitation and enticement.13.102. Discount pricing practices.

§ 13.101. Prohibition against solicitation and enticement.No licensee, servant, agent or employe thereof, may permit a person on the

licensed premises to directly solicit or entice another person for the purpose ofthe purchase of food, beverages, merchandise, service or another item or thingstored, possessed, served, sold, exposed for sale or dispensed on the licensedpremises or contiguous or adjacent premises or premises operated in connectiontherewith.

Source

The provisions of this § 13.101 amended through December 27, 1985, effective December 28,1985, 15 Pa.B. 4583. Immediately preceding text appears at serial page (48228).

Notes of Decisions

Consistency

The provisions of this section are not inconsistent with section 493(25) of the Liquor Code (47 P. S.§ 4-493(25)). In re Firenze Tavern Corp., 401 A.2d 6 (Pa. Cmwlth. 1979).

§ 13.102. Discount pricing practices.(a) General. Retail licensees may discount the price of alcoholic beverages

for not more than 4 consecutive or nonconsecutive hours in a day and not morethan 14 hours in a week. Retail licensees may not engage in discount pricingpractices between 12 midnight and the legal closing hour. Retail licensees shallpost on the licensed premises notice of happy hours. The notice shall be postedso that it is readily visible to the public. The notice shall be posted no less than7 days prior to the happy hour. Retail licensees may not engage in the followingdiscount pricing practices unless specifically excepted in subsection (b):

(1) The sale or serving, or both, of more than one drink of liquor, wine, ormalt or brewed beverages at any one time to any one person, for the price ofone drink.



(2) The sale or serving, or both, of an increased volume of one drink ofliquor, wine, or malt or brewed beverages without a corresponding and propor-tionate increase in the price for the drink.

(3) The sale or serving, or both, of an unlimited or indefinite amount ofliquor, wine, or malt or brewed beverages for a set price.

(4) The pricing of alcoholic beverages in a manner which permits the priceto change within a happy hour period.(b) Exceptions. Nothing in subsection (a) prohibits:

(1) The sale or serving, or both, of an unlimited or indefinite amount ofliquor, wine, or malt or brewed beverages for a fixed price for catered eventswhich have been arranged at least 24 hours in advance.

(2) The offering for sale of one specific type of alcoholic beverage or drinkper day or a portion thereof at a reduced price, if the offering does not violatesubsection (a) and if the price of the drink does not change during the offering.For purposes of this section, a specific type of alcoholic beverage means eithera specific registered brand of malt or brewed beverages, a type of wine, a typeof distilled spirits or a mixed drink. Examples of permissible drink discountsare found in Board Advisory Notice 16.

(3) Events conducted under the authority of subsection (b) may not becounted against the 4-hour daily or the 14-hour weekly limitation on happyhours in subsection (a).

AuthorityThe provisions of this § 13.102 amended under section 207(i) of the Liquor Code (47 P. S.

§ 2-207(i)).

SourceThe provisions of this § 13.102 adopted December 27, 1985, effective December 28, 1985, 15

Pa.B. 4583; amended March 20, 1998, effective March 21, 1998, 28 Pa.B. 1418; amended December17, 1999, effective December 18, 1999, 29 Pa.B. 6337; amended November 12, 2004, effectiveNovember 13, 2004, 34 Pa.B. 6139; amended January 15, 2016, effective January 16, 2016, 46 Pa.B.352. Immediately preceding text appears at serial pages (341478) and (376815).

Notes of Decisions

ViolationThe licensee was in violation of this section when he varied malt and liquor prices from day to day

as a promotional price tactic which encourages the consumption of alcoholic beverages. In re Locy,557 A.2d 1164 (Pa. Cmwlth. 1989); appeal denied 563 A.2d 889 (Pa. 1989).

Subchapter D. TASTING EVENTS

GENERAL PROVISIONS

Sec.13.201. Definitions.

TASTING EVENTS13.211. Tasting events.

IN-STORE TASTING EVENTS13.221. General requirements.13.222. Prior approval.13.223. Procurement of wine or spirits, or both.13.224. Duration of in-store tasting events.

Ch. 13 PROMOTION 40 § 13.102

13-23(379855) No. 497 Apr. 16

13.225. Tastings per consumer.13.226. Food, supplies and equipment.13.227. Participation by Board employees.13.228. Disposal and storage of partially-used liquor and empty containers.13.229. Advertising.

SourceThe provisions of this Subchapter D adopted November 12, 2004, effective November 13, 2004,

34 Pa.B. 6139, unless otherwise noted.

GENERAL PROVISIONS


ing meanings, unless the context clearly indicates otherwise:In-store tasting events—Tasting/tasting events held upon the premises of a

State Liquor Store.Sponsor—A sponsor of a tasting event may be any licensed vendor, importer,

distributor, importing distributor or manufacturer or its agent or employee whois 21 years of age or older.

Standard size alcoholic beverage—A standard size alcoholic beverage is 12fluid ounces of a malt or brewed beverage, 4 fluid ounces of wine (includingfortified wine) or 1 1/2 fluid ounces of spirits.

Tasting/tasting events—A presentation of alcoholic products to the public forthe purpose of market research, disseminating product information and educa-tion of the public as to quality and availability.

AuthorityThe provisions of this § 13.201 amended under section 207(i) of the Liquor Code (47 P. S. § 2-

207(i)).

SourceThe provisions of this § 13.201 amended March 5, 2010, effective March 6, 2010, 40 Pa.B. 1149.

Immediately preceding text appears on serial page (337282).

Cross ReferencesThis section cited in 40 Pa. Code § 3.93 (relating to breweries).

TASTING EVENTS

§ 13.211. Tasting events.(a) Tastings may be conducted by sponsors upon licensed or unlicensed

premises.(b) Sponsors conducting a tasting event shall adhere to the following require-

ments:(1) Products used shall be legally procured and properly registered and

taxes on the products shall be paid.(2) Purchase requirements may not be associated with the tasting.(3) Products offered will not exceed a standard size alcoholic beverage for

that product. For example, if wine is offered, each glass of each wine offeredto a participant will not exceed 4 ounces in volume. A tasting event comparing



a brand of Chardonnay from California to a brand of Chardonnay from Francewould allow the participant to receive one 4-ounce glass of each Chardonnay.


207(i)).



Cross ReferencesThis section cited in 40 Pa. Code § 3.93 (relating to breweries).

IN-STORE TASTING EVENTS

§ 13.221. General requirements.(a) Sponsors may conduct an in-store tasting event at the discretion of the

Board.(b) Only one sponsor may conduct an in-store tasting event at any one store

at any one time unless otherwise approved by the Board.(c) Sponsors shall observe all State and Federal laws and regulations govern-

ing liquor and wine during in-store tasting events.(d) The Board may conduct its own in-store tasting event with or without the

participation of a sponsor.


207(i)).

SourceThe provisions of this § 13.221 amended May 16, 2008, effective May 17, 2008, 38 Pa.B. 2250.

Immediately preceding text appears at serial pages (307862) to (307863).

§ 13.222. Prior approval.(a) Sponsors shall obtain approval from the Board to conduct an in-store

tasting event prior to the date of the proposed event.(b) Prior to the in-store tasting event, sponsors may be required to demon-

strate evidence of liability insurance in an amount to be determined by the Boardand sign and submit a Pennsylvania Liquor Control Board Indemnity AgainstLiability form to the Board.

(c) Prior to the in-store tasting event, sponsors shall provide the Board witha list of products to be tasted by consumers.

(d) The Board will determine the time, date, and location of the in-store tast-ing event and will notify the sponsor of same.

§ 13.223. Procurement of wine or spirits, or both.(a) Wine or spirits used during the in-store tasting events shall be procured

by the sponsor in accordance with the sampling process as specified in § 13.81(relating to samples of liquor), by purchase from the Board or the sponsor mayprovide and transport the wine and spirits from its own stock.

Ch. 13 PROMOTION 40 § 13.221

13-25(376817) No. 489 Aug. 15

(b) A maximum of four products per sponsor per in-store tasting event maybe made available for tasting by consumers.

(c) Wine and spirits used during an in-store tasting event shall be dispensedfrom original containers prepared by the manufacturer with labels visible to theconsumer.


207(i)).



§ 13.224. Duration of in-store tasting events.The duration of an in-store tasting event is limited to a maximum of 2 consecu-

tive hours.

§ 13.225. Tastings per consumer.(a) In the case of wine, only 1 ounce may be served to any one consumer for

each product tasted. A consumer may not be furnished more than 4 ounces ofwine.

(b) In the case of spirits, only 1/4 ounce may be served to any one consumerfor each product tasted. A consumer may not be furnished more than 1 ounce ofspirits.

§ 13.226. Food, supplies and equipment.(a) The sponsor is responsible for providing all supplies and equipment asso-

ciated with an in-store tasting event subject to Board approval, including dumpbuckets, water glassses, tasting containers and tables.

(b) The sponsor shall provide food, such as cheese and crackers, for con-sumption by consumers during the in-store tasting event.

(c) The sponsor shall be in compliance with applicable municipal healthcodes.

§ 13.227. Participation by Board employees.(a) Board employees may pour, dispense or serve tastings to the public.(b) Board employees may give general information, such as sponsor, time and

date, regarding the in-store tasting event to the public.(c) On-duty employees of the State Liquor Store where the in-store tasting

event is being conducted may not consume beverage alcohol.


207(i)).

Source

The provisions of this § 13.227 amended May 16, 2008, effective May 17, 2008, 38 Pa.B. 2250.Immediately preceding text appears at serial page (307864).


13-26(376818) No. 489 Aug. 15 Copyright � 2015 Commonwealth of Pennsylvania

§ 13.228. Disposal and storage of partially-used liquor and empty contain-ers.

(a) At the conclusion of the in-store tasting event, sponsors shall either dis-card unused portions of opened liquor containers at the State Liquor Store or mayreseal the partially-consumed liquor containers. The resealed partially-used con-tainers shall be placed in storage at the store for use at a subsequent store tastingor may be removed from the premises. No partially-consumed liquor containersmay be placed in storage at a store for more than 15 days. After 15 days,partially-used containers of liquor may be discarded by the Board.

(b) Sponsors shall dispose of all empty liquor containers in accordance withsection 4-491(5) of the Liquor Code (47 P. S. § 4-491(5))

(c) Resealed partially-used containers may not be furnished to employees ofthe Board or any other person and may only be used for a subsequent in-storetasting.

AuthorityThe provisions of this § 13.228 amended under section 207(i) of the Liquor Code (47 P. S.

§ 2-207(i)).



§ 13.229. Advertising.Advertising of the in-store tasting event by the sponsor is subject to prior Board

approval.

Subchapter E. SAMPLES

Sec13.231. General provisions.

SourceThe provisions of this Subchapter E adopted November 12, 2004, effective November 13, 2004,

34 Pa.B. 6139, unless otherwise noted.

§ 13.231. General provisions.(a) Samples may be provided by manufacturers or their representatives,

licensed distributors and importing distributors to unlicensed customers. Samplesof liquor to licensed customers shall conform to § 13.81 (relating to samples ofliquor).

(b) Samples shall be in unopened containers of the smallest commerciallyavailable size.

(c) Providing samples may not be conditioned upon any purchase require-ment.

(d) Samples may not be opened or consumed on State Liquor Store premisesor distributor or importing distributor licensed premises.

(e) Samples are limited to one container per patron in any offering.

Ch. 13 PROMOTION 40 § 13.228

13-27(348123) No. 426 May 10

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13-28(348124) No. 426 May 10 Copyright � 2010 Commonwealth of Pennsylvania

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